57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Granted |
King Credit Shelter Trust, ... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lyle W. Swenson Jr., Michel... |
Feb. 25, 2012
Jan. 20, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mari F. Palash and Andrea L... |
Mar. 31, 2007
Feb. 22, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Harris and Mary And... |
Mar. 31, 2007
Feb. 2, 2007 |
|
|
Securities
Unsuitability
Verdict:
$170,062
|
$170,062
|
Debra Bitney, individually ... |
Jan. 26, 2018
Dec. 12, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$247,000
|
$247,000
|
Lucy Mattinen, John Mattine... |
Nov. 3, 2012
Oct. 3, 2012 |
|
|
Securities
|
Mary E. Wiss | State of California, ex rel... |
Nov. 8, 2019
Apr. 15, 2019 |
|
|
Securities
Suitability |
Respondent | Michael Terry Nalewaja v. T... |
Apr. 10, 2020
Feb. 18, 2020 |
|
|
Securities
Expungement |
Expungement | Herbert Liberman | Young M. Chung v. Merrill L... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiffs |
In re James Donzil Roberts ... |
Oct. 24, 2015
Sep. 9, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,200,000
|
$1,200,000
|
Henry Kankowski, Patrice Ka... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Fraud
Verdict:
$58,183
|
$58,183
|
James H. Donell, Receiver f... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$190,000
|
$190,000
|
Robert M. Sapp Jr. v. ING F... |
Aug. 4, 2012
Jul. 10, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$75,000,000
|
$75,000,000
|
Jinsook Ohta | In re: Qualcomm Incorporate... |
Aug. 14, 2025
Sep. 27, 2024 |
|
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Yangchen D. Lama v. UBS Fin... |
Jun. 21, 2019
May 8, 2019 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael J. Harrison | Randall H. Moses v. Pruco S... |
Aug. 25, 2017
Jul. 6, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Alliance Semiconductor Corp... |
Nov. 26, 2011
Nov. 5, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Claim: $995,300; Cross-claim: $45,360 |
Grand Avenue Capital Partne... |
Apr. 10, 2010
Mar. 1, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Supplemental Disclosures |
Suzanne Newman, individuall... |
Mar. 1, 2014
Jan. 28, 2014 |
|
|
Securities
FINRA Rules |
Expungement | Robert F. Saint-Aubin | Christopher Alan Clark v. L... |
Feb. 9, 2018
Dec. 16, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$110,000
|
$110,000
|
Irma T. Agee, individually ... |
Oct. 24, 2009
Jul. 16, 2009 |
|
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
|
Securities
CLRA
Verdict:
-$1
|
-$1
Defense |
William Hahn, Jeane Hahn v.... |
Nov. 27, 2010
Oct. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$13,500
|
$13,500
|
Ellen Baron v. Banc of Amer... |
Feb. 20, 2010
Jan. 14, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Claims Denied |
Weill Dai, Sehat Sutardja, ... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |